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FSA fines for APER breaches and market abuse
  • Dentons
  • United Kingdom
  • July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland.

ESMA reports on MAD sanctions differences
  • Dentons
  • European Union
  • May 4 2012

ESMA has published a report on the use of administrative and criminal sanctions by Member States under the Market Abuse Directive (MAD).

ESMA and SEC agree MoU
  • Dentons
  • USA, European Union
  • March 30 2012

ESMA and the US Securities Exchange Commission (SEC) have agreed a Memorandum of Understanding (MoU) on consultation, co-operation and exchange of information on entities that operate cross-border.

Law Society and the City of London Llaw Society publish comments on MAD Review
  • Dentons
  • United Kingdom
  • March 16 2012

The document demands greater level of detail on the scope of the new market abuse regime, which could be achieved through the inclusion of recitals, examples of permitted behaviour or guidance of the sort provided by the UK’s Code of Market Conduct.

Treasury consults on electronic communications for mutuals
  • Dentons
  • United Kingdom
  • December 10 2010

Treasury is consulting on updating various pieces of legislation to allow mutuals to communicate with members electronically.